Herb Moore joins Foreside’s Les Abromovitz and Kelli Haugh as they discuss the latest SEC Risk Alerts, which address compliance deficiencies found during examinations. These alerts help to educate advisers and warn CCOs about problem areas that examiners will be focused on during future exams.
What you will learn by leveraging these risk alerts and attending this webinar:
- Understand the SEC’s examination focus areas
- How to improve your firm’s compliance practices
- How to tailor your compliance policies and procedures to the risks relevant to your firm
Speakers will address examples and lessons learned and will illustrate what happens to RIAs when they ignore these SEC risk alerts.